personnel. The SEC also proposed to emphasize significance of ?compliance officer? by requiring LBDU licensee and derivatives broker appoint at least a compliance officer with specified qualifications.The
from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of
derivatives trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading
F8) not relevant to the method of trading order submission is in violation of Clause 20(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel
Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading
client that, from the effective date to the closing of tender offer, the client was not allowed to purchase EIC securities by any means other than those specified in the tender offer. {A}'s conduct was
Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he
Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012